Daniel S. Cooper
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Shea Cooper was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1971. Daniel had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2009 - April 2, 2020
FFEC WEALTH PARTNERS LLC
October 17, 2008 - October 30, 2009
WEDBUSH SECURITIES INC.
September 10, 1994 - November 14, 2008
PEACOCK, HISLOP, STALEY & GIVEN, INC.
May 6, 1980 - August 5, 1994
D.S. COOPER & CO.
October 24, 1978 - September 16, 1980
IAA FINANCIAL LLC
March 29, 1973 - November 18, 1978
GLEACHER & COMPANY SECURITIES, INC.
September 12, 1972 - May 19, 1973
DRESDNER SECURITIES (USA) INC.
February 23, 1972 - October 13, 1972
A. B. N. CORPORATION
August 9, 1971 - April 15, 1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/4/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 6/3/1971
Registered Representative ExaminationF04
Date: 1/20/1977
Financial Principal ExaminationSeries 40
Date: 12/23/1976
Registered Principal ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
